Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gavin? Claim Your ProfileGavin Lam is a financial advisor with Wells Fargo Clearing Services, LLC, located in Belmont, CA. Gavin has over 10 years of experience in the financial industry, having previously worked for HSBC Securities (USA) Inc. Gavin is registered with both the state of California and the Financial Industry Regulatory Authority (FINRA). Gavin's expertise includes investment consulting services for institutional clients, financial planning, pension consulting, portfolio management for businesses and individuals, and selection of other advisors.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
12/16/2022 - Present
Wells Fargo Clearing Services, LLC (BELMONT CA)
CA
08/13/2020 - 11/02/2021
HSBC SECURITIES (USA) INC. (FREMONT CA)
CA
03/28/2011 - 10/18/2018
HSBC SECURITIES (USA) INC. (MILLBRAE CA)
BOTH
Issued 07/18/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/29/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/20/2022
Series 7TO - General Securities Representative Examination
BC
Issued 12/20/2022
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/13/2013
Series 7 - General Securities Representative Examination
BC
Issued 03/24/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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